Responsibilities:

• Coordinate with relevant departments to conduct investigations of complaints about alleged misconduct and violation of relevant regulations against consultants.  Recommend appropriate disciplinary actions, prepare investigation reports and recommend follow up actions
• Develop, communicate and monitor disciplinary actions guidelines
• Update on the compliance related policies and guidelines in order to comply with company and regulatory requirements
• Prepare communications of the up-to-date policy/guidelines to the consultancy force
• Keep abreast to the new regulatory changes affecting distribution operation, advise on relevant impact and implement relevant compliance requirements
• Review and prepare compliance communications and briefing materials
• Participate in compliance related projects to ensure latest regulatory related issues are handled in alignment with regulator’s existing and new requirement

Requirements:

• University graduate with minimum 5 years of relevant experience in the insurance and financial industry, preferably with experiences in legal and/or compliance field
• Sound knowledge of insurance regulatory requirements or customer service is a must
• Knowledge on project management, process design and change management is preferred
• Detail-minded, strong problem solving and decision-making skills
• Self-initiated, analytical-minded and able to handle multi-tasks under tight schedule
• Fluency in English and Cantonese, ability to read and write in professional Chinese and English,
• Conversant in MS Excel, Word and PowerPoint

We offer competitive remuneration including career prospects to the right candidate. Interested parties please send detailed resume with availability, current and expected salaries to Human Resources Department, OnePlatform Wealth Management Limited, Trust Tower, 68 Johnston Road, Wan Chai, Hong Kong or by clicking the Apply Now button and upload your CV and cover letter.

(All applications will be treated in strict confidence and used for recruitment purpose within OnePlatform Wealth Management Limited only. All applicants are kept on file 6 months from the date of the application.)